PREFACE

The previous editions of Understanding and Managing Public Organizations reviewed the literature on management and organization theory and suggested applications to the public sector grounded in evidence from research on public organizations and the people in them. The book has served primarily as a text in courses for master of public administration students and in seminars for doctoral students in public administration and public affairs programs. It has also served the needs of scholars, and it has a high number of citations in the Social Science Citation Index for a book of this type, in this field. The revisions in this fifth edition seek to enhance the book’s usefulness to students and scholars. The book also seeks to meet certain needs of practicing managers and professionals.

Reviewers of earlier editions suggested greater integration among the chapters and the addition of an organizing framework for the material. The first chapter now includes a conceptual framework that links the chapters and topics in the book. This framework emphasizes a fundamental challenge for leaders and members of organizations: that of integrating and coordinating the components and domains of the organization. These include the organization’s environment, strategy- and decision-making processes, goals and values, culture, structure, power relationships, tasks, and communication processes. This integration, of course, must also include the people—the organization’s leaders, teams, and groups, and their motivations, work attitudes, and behaviors. As the book illustrates, the field of management and organizational theory has developed no comprehensive theory or scientific solution that achieves this integration. Without wanting to slight or offend my fellow authors, I assert that no existing text on organizations and their management achieves a highly effective integration of the topics any more than this one does. Nevertheless, the book’s chapters describe concepts and insights from the organization and management literature that support leaders’ and managers’ efforts to think and act comprehensively, and to integrate the topics and issues they face. The final chapter illustrates how to use the framework to approach management challenges—such as privatization of public services—in an integrative, comprehensive fashion. In addition, an online instructor’s guide is available, which includes cases and exercises that instructors can use to challenge students to consider how to bring multiple topics and concepts to bear on the same case.

The book’s chapters flesh out the conceptual framework by reviewing the theories, research, and practices associated with major topics in the field of organizations and their management. As described in Chapter One, the field of public management and leadership has continued to develop rapidly since publication of the previous editions. Accordingly, many chapters and topics in this edition have been expanded to cover new material and new developments. This includes research on such topics as how public managers lead and behave, effective performance in government agencies, organizational commitment in public organizations, differences between public and private managers’ perceptions of the personnel systems with which they work, organizational culture in public organizations, and many other topics. This edition includes expanded coverage of developments on the topic of “public values,” of research on public service motivation, and of recent research on strategic decision making in public organizations. It includes much more coverage than in previous editions of the rapidly developing topic of networks and collaboration in the public service delivery and governance. This edition generally updates the reviews of research on the many topics in the book, such as the Meier-O’Toole model of public management. The chapters on the major topics of the book show that researchers have published a profusion of studies on these and other topics since the fourth edition appeared, thus raising a major challenge for those who seek to review and interpret them all.

In addition, previous editions of this book have analyzed, as does this one, the distinctions between public organizations and their members, on the one hand, and other types of organizations, leaders, and employees, such as those in the business sector, on the other. Chapter Three presents a conceptual analysis of these distinctions: What do we mean when we refer to these different types of organizations and the people who work for them? How do we define them and study their differences? Subsequent chapters describe research articles and other forms of evidence that compare public and private organizations in terms of the topics that these chapters cover. Many studies of this type have appeared in recent years. Assembling these studies, describing them, and interpreting them for the reader has posed another serious challenge, but a welcome one, because one of the book’s objectives is to provide the most comprehensive compilation and review possible of such research-based comparisons of public and private (and public and nonprofit) organizations.

Another goal and challenge of the previous editions of the book was to cover important developments in the practice and contemporary context of general management and public management. Previous editions covered such topics as Total Quality Management (TQM); the influence of the best-selling book Reinventing Government (Osborne and Gaebler, 1992) and the REGO movement it spawned, including the federal government’s National Performance Review; and the management of privatization and contracting-out programs, among others. Some of these developments have become dated and less prominent over time, but reviewers and colleagues advised against deleting them. The review of such developments in Chapter Fourteen provides a history of many of the management improvement initiatives in recent decades. The review illustrates how ideas move through government and other domains over time, and the interplay between academic scholarship and theory, on the one hand, and the practice of management, on the other. This edition reports on research evaluating the influence of these developments on governments at all levels in the United States and in other nations. It also covers more recent developments such as the New Public Management movement around the world, the George W. Bush administration’s President’s Management Agenda and its Program Assessment Rating Tool (PART), and the human capital movement in government.

The book provides such coverage in part to make this edition more useful than the previous editions for practicing managers and professionals and for students interested in such roles. It also offers many suggestions for those faced with practical leadership and management challenges, including managing relations with the media (Chapter Five), enhancing one’s power and authority (Chapter Seven), conducting strategic decision-making processes (Chapter Seven), motivating employees (Chapter Ten), managing and leading organizational culture (Chapter Eleven), managing conflict (Chapter Twelve), leading organizational change (Chapter Thirteen), and other topics. In addition, it gives examples of how these insights and concepts are used in the field. For instance, Chapter Eight begins with a description of the major structural reform that the U.S. Internal Revenue Service underwent, and of the structural changes made at a national laboratory in response to public concerns about its safety. Chapter Nine points out that many of the efforts to reform pay systems in government would have been much more effective if they had been informed by a clear understanding of a number of motivation theories. Chapter Thirteen shows how strategies for leading organizational change have led to successful large-scale change in government agencies, and how not applying such strategies has led to failure in other instances. Chapter Thirteen provides a summary of points of expert consensus about successful management of large-scale organizational change. When my coauthor, Sergio Fernandez, and I published this summary in Public Administration Review (PAR) and on the PAR website, we received very positive comments from government officials about the usefulness of the summary.

Ultimately, the book pursues the theme that effective leadership involves the well-informed, thoughtful, integrative use of a variety of management concepts and points rather than the hot pursuit of catchy phrases and glib advice. As an illustration of this theme, consider that many students of military strategy and history express great admiration for Carl Von Clausewitz’s classic treatise On War (1986). Clausewitz took the position that he could not advise an individual commander on how to conduct a specific campaign because such situations are so highly varied and contingent. Rather, he aimed to provide general perspective and insight on how to conceive of the nature and enterprise of war. Even persons who loathe military force and military analogies might accept the point that people facing practical challenges often profit from general understanding and insight as much as from detailed prescriptions.

Audience

The primary audience for previous editions of Understanding and Managing Public Organizations included graduate students and scholars interested in public management and applications of organization theory to the public sector. The difference between the needs of doctoral students and those of master of public administration (M.P.A.) students and undergraduate students presents a challenge for this book. Faculty colleagues at other universities who have used the book in their classes have sometimes mentioned that their M.P.A. students do not see the need for the many citations to academic research articles and reviews of such academic materials. They also mention, however, that their doctoral students value and appreciate the reviews of academic literature and research, and the citation of such work. For this fifth edition, this raised the question of whether I should reduce the reviews and citations of academic research to meet the needs and preferences of some M.P.A. students, or to keep this coverage and even extend it by updating it. Faculty colleagues with whom I discussed this matter, as well as anonymous reviewers of the proposal for this edition, mostly advised the latter approach—keeping the coverage of academic research. One reviewer emphatically insisted that this coverage represents a distinctive contribution of the book, and that I should avoid “dumbing down” the book.

This edition does try to accommodate, in certain ways, the preferences of students who do not see the need for the academic citations. In Chapters One and Fourteen, long lists of parenthetic references citing multiple books and articles have been moved to endnotes, to enable an uninterrupted flow of the text. In addition, as mentioned earlier, an instructor’s guide is now available. It includes key terms, examples, potential writing assignments, and case discussion exercises. The instructor’s guide also includes and illustrates suggestions and alternatives for using the materials and approaching the topics of a course using the book. These materials can enliven the topics and make them more accessible for M.P.A. students. Microsoft PowerPoint presentations are also available for each chapter; they provide many rich illustrations and graphics that can enliven a discussion and coverage of the topics. These resources are available at www.wiley.com/college/rainey.

Reviewers of the previous editions said that practitioners would be unlikely to delve into the detailed reviews of research and theory the book provides. I concede this point, but grudgingly. This assumption underestimates many practicing leaders and managers who are thoughtful and reflective students of leadership and management. They may dislike abstruse academic discourse because they are inclined to action and strive for practical results. They may also find quick advice and bright ideas attractive. When practicing managers enroll in courses in academic settings, however, they often lead their classes in insight and in showing an interest in new concepts and broad perspectives. They often spurn “war stories” and how-to manuals.

Thus the lines between practicing managers, students, and management scholars often blur. Sometimes practicing managers seek degrees in long-term academic programs and play the role of student. Often they teach or help to teach courses. Therefore, although the primary goal of this book is to serve students and scholars interested in research and theory, it can also serve practicing managers and leaders. This book can serve as a reference for busy managers who want a review of basic topics in the field and who might find the conceptual framework and some of the suggestions and examples useful.

Organization

The best overview of the organization of the book can be obtained by reviewing the table of contents. Part One covers the dynamic context of public organizations. Its five chapters introduce the basic objectives and assumptions of the book and the conceptual framework mentioned earlier. Chapter One discusses the current context of public management in practice and in scholarship, and the challenges this context raises for applying organization and management theory to public organizations. Chapter Two summarizes the history of organization and management theory, describing the development of some of the most important concepts and issues in the field, which are discussed further in later chapters. In addition, this historical review shows that most of the prominent organization and management theorists have been concerned with developing the general theory of organizations and have not been particularly interested in public organizations as a category. Their lack of interest in public organizations justifies the effort made in this book to apply organization theory to public organizations, and it also indicates the challenges involved. Chapter Three defines public organizations and distinguishes them from private ones. It also provides an introductory overview of the assertions about the nature of public organizations made in later chapters. Chapters Four and Five review the literature on organizational environments, particularly the political and institutional environments of public organizations.

Part Two focuses on key dimensions of organizing and managing. These seven chapters concentrate on major topics in organization theory and management, including goals and effectiveness, power, strategy, decision making, structure and design, and the people in organizations (including discussions of values, motivation, work-related behaviors and attitudes, leadership, organizational culture, teams and groups, communication, and conflict). They describe current research on these topics and discuss how it applies to public organizations.

Part Three covers strategies for managing and improving public organizations. Chapter Thirteen addresses organizational change and development. Chapter Fourteen, the last chapter of the book, presents ideas for achieving organizational excellence in the public sector. Finally, the chapter illustrates how the conceptual framework may be used to pursue a comprehensive management strategy that addresses both new initiatives and long-standing challenges.

Acknowledgments

I still owe thanks to all the people mentioned in the first four editions, and the list has grown even longer. It defies enumeration here. Despite my concern about leaving out anyone, I must leave out a great many people anyway. I offer thanks to all those who have discussed the book with me and made suggestions, including Craig Boardman, Barry Bozeman, Delmer Dunn, Patricia Ingraham, Ed Kellough, Ken Meier, Larry O’Toole, Sanjay Pandey, and many others, including anonymous reviewers for this and previous editions. As were the previous editions, this book is dedicated primarily to my son, Willis, my daughter, Nancy, and my wife, Lucy.

Doctoral students in the School of Public and International Affairs at the University of Georgia provided invaluable assistance with this edition and previous ones. These include Meriem Hodge and Harin Woo, who provided reviews of current research and suggestions about how to use them, as well as assistance in editing and revising the content. This edition also benefits from contributions to past editions by former doctoral students. These include Professor Young Han Chun of Seoul National University, Professor Jay Eungha Ryu of Ohio University, Professor Sergio Fernandez of the Indiana University School of Public and Environmental Affairs, Professor Chan Su Jung of the City University of Hong Kong, Professor John Ronquillo of DePaul University, Professor Jung Wook Lee of Yonsei University, and Mike Koehler of the U.S. Department of Homeland Security.

I refer to another of our doctoral graduates, Professor Deanna Malatesta of the School of Public and Environmental Affairs of Indiana University, Purdue University at Indianapolis, as my coauthor on the instructor’s guide and PowerPoint presentations. This claim is presumptuous on my part, because Deanna did so much of the work—with such energy, initiative, and creativity—that she would be justified in refusing to list me as coauthor. Seldom have I felt so indebted to a colleague.

I owe gratitude to representatives of Jossey-Bass publishers who have helped and supported the work on this and previous editions. For this edition, it has been a pleasure to work with Alison Hankey, with her combined high levels of competence, soundness of judgment, efficiency, encouragement, and helpfulness.

The assumptions and arguments made in each edition of this book amount to acknowledgment of the contributions of numerous authors, both those I have cited and those I was unable to incorporate due to time and space limitations. These arguments include the assertion that public organizations are important institutions that provide crucial services. They currently face a measure of public scorn, pressures to perform better with less money, and increasing demands to provide an elaborate array of functions and services. These pressures are aggravated by misunderstandings, oversimplifications, myths, and outright lies about the nature and performance of public organizations and employees in the United States and many other countries. Public organizations are often highly effective, well-managed entities with hardworking, high-performing employees, yet they face distinctive pressures and constraints in addition to the typical challenges all organizations face, and these constraints can lead to dysfunction and poor performance. The review of insights and concepts about organizations and management provided in this book seeks to support those who strive to maintain and advance the effective management of public organizations. The book thus acknowledges all those who strive with sincerity to provide public, social, and altruistic service.

Hal G. Rainey

Athens, Georgia

February 2014